David Albert Ballard

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Stonebridge Mortgage Solutions Ltd (no longer approved here)
FRN 454811
- Appointed representative dealing with clients for which they require qualification (11 Mar 2021 to 1 Jan 2023)
- CF1 Director (AR) (24 May 2016 to 10 Apr 2017)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (1 Nov 2007 to 25 Sep 2008)
- CF21 Investment Adviser (8 Dec 2005 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (27 Jul 2005 to 8 Dec 2005)
David Ballard (no longer approved here)
FRN 436023
- Employed By (30 Nov 2005 to 25 Sep 2008)
NBL Financial Management Limited (no longer approved here)
FRN 223936
- CF21 Investment Adviser (14 Jul 2003 to 2 Aug 2005)
NBL Independent Financial Management (no longer approved here)
FRN 193451
- (3)Employed By (24 Jan 2001 to 31 Aug 2003)

Updates to this individual's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.